Thomas C. Bogle

Tom Bogle has over 20 years of experience in the asset management industry, advising clients on a wide range of corporate, regulatory and enforcement matters. Mr. Bogle has particular experience counseling U.S. registered funds, independent directors and fund sponsors on the full range of issues under the federal securities laws, including the Investment Company Act of 1940 and the Investment Advisers Act of 1940.

Mr. Bogle has been recognized in Chambers USA and Chambers Global as a leading lawyer for both registered funds and investment funds: regulatory & compliance. In a recent edition, clients noted that “Tom is very responsive, knowledgeable and has a deep understanding of the commercial landscape.” “He's a superb lawyer who is knowledgeable on the rules and regulations of the market place.” A previous edition stated that he has “considerable experience of advising hedge and mutual funds, as well as independent trustees, on SEC compliance,” and a client commented that “he is incredibly knowledgeable.” He is also listed in The Legal 500 (U.S.) in the area of mutual/registered funds, which stated that he is “intelligent, astute and very responsive.” Since 2014, he has been listed annually in The Best Lawyers in America for mutual funds law. He has also been named as a “Rising Star” for investment funds by Euromoney/Legal Media Group in its Expert Guides series and as one of Fund Action’s Rising Stars of 2014.

Mr. Bogle serves as a member of the firm’s Washington office pro bono committee and as a leader of its non-profit and small business pro bono practice group. He serves on the board of advisory editors of the Tulane Law Review.

Prior to attending law school, Mr. Bogle worked on Capitol Hill and for federal political campaign committees.

Securities Law Development Conference — Investment Company Institute, Webcast (September 24, 2020)
Challenges for Fund Boards in Light of COVID-19 — The Mutual Fund Directors Forum, Webinar (March 27, 2020)
U.S. Regulatory Priorities Seminar Series: Competition and Antitrust Considerations for Asset Managers — Dechert LLP, London, UK (May 21, 2019)
Academic and Practitioner Symposium on Mutual Funds and ETFS — Presented by the Investment Company Institute and the University of Virginia Darden School of Business' Richard A. Mayo Center for Asset Management, Arlington, VA (February 21-22, 2019)
Board Oversight of Variable Product Funds — The Mutual Fund Directors Forum, Webinar (November 7, 2018)
AML Risks within Wealth/Trust - FIRMA/Texas Bankers — Risk Issues & Compliance Seminar, Dallas, TX (November 2, 2018)
Employment Issues in the Asset Management Industry Seminar — Dechert LLP, Boston, MA (May 10, 2018)
Employment Issues in the Asset Management Industry Seminar — Dechert LLP, New York, NY (May 8, 2018)
Liquidity Risk Management and Data Reporting: Director Responsibilities Under the New SEC Rules — IDC Session at the Investment Company Institute's General Membership Meeting, Washington, D.C. (May 3-5, 2017)
An AML Blueprint: Tighten Controls and Satisfy FinCEN — IA Compliance: The Full 360° View –Compliance Solutions for a Rapidly Changing Regulatory World, Washington, D.C. (April 5-7, 2017)
Current Developments Affecting the Fund Industry — ICI Breakfast Briefing, Palm Desert, CA (March 14, 2017)
The SEC's New Fund Reporting and Liquidity Rules: What Do They Mean for the Fund Industry? — Presented by the Investment Company Institute, Boston (November 17, 2016)
Developments in Global Commodities and Derivatives Regulation — Dechert LLP, Philadelphia, PA (March 30, 2016)
Achieving AML Success in Light of FinCEN’s Coming Mandate — IA Compliance: The Full 360° View Presented by IA Watch, Washington, DC (February 25, 2016)
Sanctions Risk for Asset Managers — Dechert LLP, London, UK (June 10, 2015)
Preparing for the Future of Global Customer Due Diligence — ACAMS money laundering.com International AML & Financial Crime Conference, Hollywood, FL (March 18, 2015)
The Regulatory Outlook for Funds and Advisers: Domestic and Foreign Priorities — ICI Mutual Funds and Investment Management Conference, Palm Desert, CA (March 15, 2015)
SIFMA's Anti-Money Laundering and Financial Crimes Conference — New York, NY (February 25, 2015)
Discussion on the Latest Round of US and EU Sanctions Regarding Russia Announced on September 12 — Dechert LLP, Conference Call (September 16, 2014)
Discussion on the Latest Developments with Respect to US and EU Sanctions Regarding Russia — Dechert LLP, Conference Call (July 31, 2014)
Exploring the Latest Regulatory and Litigation Trends affecting Variable Products and Underlying Funds — Insured Retirement Institute's 2014 Government, Legal & Regulatory Conference, Washington, D.C. (June 29, 2014)
The Situation in Russia - Considerations for Fund Directors — Dechert LLP, Webinar (May 2, 2014)
Understanding the Impact of the US/EU and Russian Sanctions on Your Business — Dechert LLP, Conference Call (March 25, 2014)
Off the Beaten Path: How to Avoid Missteps When Investing in Emerging and Frontier Markets — ICI Mutual Funds and Investment Management Conference, Orlando, FL (March 17, 2014)
Anti-Money Laundering Risk Management and Monitoring — Dechert LLP, Webinar (May 21, 2013)
Legal Forum: Compliance with Anti-Corruption Laws and Economic Sanctions — Investment Company Institute General Membership Meeting, Washington, D.C. (May 1, 2013)
OFAC Compliance: A Deeper Dive from the Regulator’s Perspective — Presented by the Investment Company Institute and ICI Global, Webinar (September 27, 2012)
How U.S. and EU Sanctions Impact Funds and Asset Managers — Presented by the Investment Company Institute and ICI Global, Webinar (August 7, 2012)
Anti-Money Laundering Risk Management and Monitoring — Dechert LLP, Webinar (June 19, 2012)
Managing Anti-Money Laundering Risk: Best Practices and Effective Tools — National Regulatory Services 26th Annual Fall Investment Adviser and Broker-Dealer Compliance Conference, Las Vegas, NV (October 26, 2011)
Anti-Money Laundering Developments and Trends — 2011 Anti-Money Laundering Discussion Forum Conference Presented by Invesco, Houston, Texas (October 20, 2011)
Whistleblower Issues for Asset Managers — Dechert LLP, Webinar (July 27, 2011)
Hot Topics: Anti-Corruption and Business Ethics — Investment Company Institute and Federal Bar Association 2011 Mutual Funds and Investment Management Conference, Palm Desert, CA (March 27, 2011)
Pay-to-Play: Advisers Act Rule 206(4)-5 — Dechert LLP, Webinar (November 9, 2010)
AML Programs Reloaded: Why Dodd-Frank May Change the Landscape for RIAs — Dechert LLP, Webinar (September 14, 2010)
Anti-Money Laundering Compliance in a Global Environment — Dechert LLP, Webinar (January 12, 2010)
Anti-Money Laundering: The Specific Duties of Transfer Agents — The STA Annual Conference, Naples, FL (October 23, 2007)
"Knowing Your Customer - Your Questions Answered” and “Suspicious Activity Reporting" — 2005 Anti-Money Laundering Workshop, Boston, MA (February 24, 2005)
Anti-Money Laundering Issues in the United States — Caribbean American Leadership Dialogue, Washington, DC (November 15, 2002)
Anti-Money Laundering Regulatory Developments in the Investment Management Industry — Investment Companies Committee of the Philadelphia Bar Association, Philadelphia, PA (November 13, 2002)